| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A.K.AGARWAL & CO.
(Member : JSE)
|
|
|
|
ASHOK KUMAR AGARWAL
|
|
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-JAN-2000
|
|
| 2 |
|
|
A.R.AGGARWAL & CO.
(Member : LSE)
|
|
|
|
ASHOK KUMAR AGGARWAL
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
20-OCT-1999
|
|
| 3 |
|
|
AARAYAA FINSTOCK PVT.LTD.
(Member : BSE)
|
|
|
|
S.S.VIJAYAKAR
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-JAN-2009
|
|
| 4 |
|
|
ACME SHARES & STOCK PVT.LTD.
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN MATTER OF SAWACA BUSINESS MACHINES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-OCT-2004
|
|
| 5 |
|
|
ADOLF PATRICK PINTO,M/S
(Member : BSE)
|
|
|
|
ADOLF PATRICK PINTO
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REDRESS INVESTOR COMPLAINTS
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
17-MAY-2000
|
|
| 6 |
|
|
ADROIT FINANCIAL SERVICES PVT.LTD.
(PAN:AABCA1156D)
(Member : NSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
22-JAN-2007
|
|
| 7 |
|
|
AJAY S.SHAH,M/S
(Member : PSE)
|
|
|
|
AJAY S.SHAH
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
02-FEB-2000
|
|
| 8 |
|
|
ALLIANZ SECURITIES LTD.
(Member : NSE)
|
|
|
VIOLATED SEBI CODE OF CONDUCT
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
28-SEP-1999
|
|
| 9 |
|
|
AMAN PORTFOLIO PVT.LTD.
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
30-JAN-2008
|
|
| 10 |
|
|
ANANTRAI A.PAREKH & SONS
(Member : BSE)
|
|
|
ALLEGED MANIPULATION OF PRICE OF BARASIA HOLDING & TRADING CO.LTD.
INDULGED IN CROSS DEALS TO CREATE FALSE MARKET IN SCRIP OF BARASIA HOLDING & TRADING CO.LTD.
DEFICIENCIES IN CLIENT DATABASE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
28-NOV-2001
|
|
| 11 |
|
|
ANANTRAI A.PAREKH & SONS
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN SCRIP OF EONOUR SOFTWARE LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
16-SEP-2004
|
|
| 12 |
|
|
ANVEE SHARE BROKER PVT.LTD.
(Member : DSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING ON BEHALF OF CLIENTS IN SCRIP OF TACTFULL INVESTMENTS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
21-AUG-2007
|
|
| 13 |
|
|
ANVEE SHARE BROKER PVT.LTD.
(Member : DSE)
|
|
|
MANIPULATED PRICE IN SCRIP OF VATSA WORLD LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
31-AUG-2004
|
|
| 14 |
|
|
APEX STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
|
AMOL HOGADE
|
|
|
P.K.NAGPAL
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-JAN-2009
|
|
| 15 |
|
|
APS CAPITAL SERVICES PVT.LTD.
(Member : PSE)
|
|
|
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
DID NOT COLLECT MARGINS FROM CLIENTS
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
INDULGED IN OFF-THE-FLOOR TRANSACTIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
16-JAN-2008
|
|
| 16 |
|
|
ARGUS STOCK BROKING LTD.
(Member : DSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING ON BEHALF OF CLIENTS IN SCRIP OF TACTFULL INVESTMENTS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
21-AUG-2007
|
|
| 17 |
|
|
ARGUS STOCK BROKING LTD.
(Member : DSE)
|
|
|
MANIPULATED PRICE IN SCRIP OF VATSA WORLD LTD.
VIOLATED SEBI CODE OF CONDUCT
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
31-AUG-2004
|
|
| 18 |
|
|
ARJ SHARES & STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
|
SURESH KUMAR JHUNJHUNWALA
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
16-JAN-2008
|
|
| 19 |
|
|
ARTISTIC FINANCE PVT.LTD.
(PAN:AAACA0546Q)
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE SKILL, DILIGENCE AND CARE IN MATTER OF MARUTI ORGANICS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
05-JUL-2002
|
|
| 20 |
|
|
ARUN KUMAR BHUWALKA,M/S
(Member : CSE)
|
|
|
|
ARUN KUMAR BHUWALKA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF GROB TEA LTD.
DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSE A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF OFF-MARKET TRANSACTIONS IN SCRIP OF GROB TEA LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
15-FEB-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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